Richard E. Mannix
Professional summary
Richard E. Mannix JR, who also goes by Richard Elword Mannix Jr, Richard Elword Mannix, Richard E. Mannix Jr. Jr, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 5 firms and has passed the Series 63, Series 72, Series 57TO, Series 6TO, SIE, Series 3, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard E. Mannix JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 2, 2021 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022October 2, 2007 - April 8, 2021
INSTINET, LLC
August 4, 2003 - October 3, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
August 18, 1994 - August 7, 2003
VIRTU ITG LLC
February 7, 1985 - November 26, 1986
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/2/2021)
(8/2/2021)
(8/2/2021)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 2/4/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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